RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
N••••• N•••••• M••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 26, 2012 · Colorado Springs, Co
- S•••••• M••••• L•• independent RIASep 3, 2009 to Nov 26, 2012 · Colorado Springs, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 21, 2009 · Colorado Springs, Co
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 24, 2007 to Jun 1, 2009 · Colorado Springs, Co
- S•••••• M••••• L•• to R•••••• J•••• • A••••••••• I•••left Nov 26, 2012, registered Nov 26, 2012 (0 days) · Other
- M••••• S•••••• to S•••••• M••••• L••left Sep 21, 2009, registered Sep 3, 2009 (-18 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address